Formalization of Iwasawa Theory in LꓱꓯN

5 Arithmetic of \({\mathbb {Z}}_p\)-extensions

5.1 Group theory preliminaries

Let \(G\) be a group, \(X\) be an abelian normal subgroup, \(\Gamma =G/X\) be the quotient group.

Definition 5.1
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\(X\) has a natural, well-defined \(\Gamma \)-action, given by \(\sigma \bullet x =\widetilde\sigma x\widetilde\sigma ^{-1}\) where \(\widetilde\sigma \in G\) is any lifting of \(\sigma \in \Gamma \).

Lemma 5.2

If \(G\) is a topological group, \(X\) is a closed abelian normal subgroup, then \(\Gamma \times X\to X\), \((\sigma ,x)\mapsto \sigma \bullet x\) is continuous.

Proof

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Lemma 5.3 [ Was97 ] , Lemma 13.14

Let \(G\) be a compact Hausdorff topological group, \(X\) be a closed abelian normal subgroup, \(G'\) be the closure of the commutator subgroup of \(G\). Suppose \(\Gamma =G/X\) is topological cyclic (hence is abelian) with a topological generator \(\gamma \), and there exists a subgroup \(I\) of \(G\) such that \(I\hookrightarrow G\twoheadrightarrow \Gamma \) is surjective. Then \(G'=\{ (\gamma \bullet x)x^{-1}\mid x\in X\} \).

Proof

Note that \(G=IX\), \(G'=\overline{[G,G]}\) and \([G,G]\) is generated by elements of form \((\alpha x)(\beta y)(\alpha x)^{-1}(\beta y)^{-1} =(\alpha \bullet x)(\alpha \beta \bullet x)^{-1}(\alpha \beta \bullet y)(\beta \bullet y)^{-1}\), where \(\alpha ,\beta \in I\) and \(x,y\in X\). By taking \(\alpha \in I\) to be the preimage of \(\gamma \in \Gamma \), and \(\beta =1\), we know that “\(\supset \)” holds.

Note that RHS is a compact subgroup (it is the image of a compact set, \((\gamma \bullet x)x^{-1}(\gamma \bullet y)y^{-1} =(\gamma \bullet xy)(xy)^{-1}\), and \(((\gamma \bullet x)x^{-1})^{-1} =(\gamma \bullet x^{-1})x\)). Therefore, to prove “\(\subset \)”, we only need to show that \((\alpha \bullet x)x^{-1}\) is in RHS for all \(\alpha \in I\) and \(x\in X\).

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5.2 The class group of \({\mathbb {Z}}_p\)-extension of a number field

Let \(K\) be a number field, \(p\) be a prime, \(K_\infty /K\) be a \({\mathbb {Z}}_p\)-extension.

Definition 5.4
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If \(M\) is a finite abelian group, \(p\) is a prime, let \(M(p)\) be the \(p\)-primary part of \(M\), which is the \(p\)-Sylow subgroup of \(M\), or the subgroup of \(M\) consisting of elements whose order is power of \(p\). By definition it is a subgroup of \(M\), and is also canonically a quotient group of \(M\).

Definition 5.5

For each \(n\geq 0\) let \(L_n\) be the maximal unramified abelian extension of \(K_n\) of exponent \(p\). Let \(X_n:={\mathrm{Gal}}(L_n/K_n)\).

Definition 5.6

For each \(n\geq 0\) let \(A_n:={\mathrm{Cl}}(K_n)(p)\) be the \(p\)-primary part of the class group \({\mathrm{Cl}}(K_n)\), viewed as a quotient of \({\mathrm{Cl}}(K_n)\).

Proposition 5.7

There is a canonical isomorphism \(X_n\cong A_n\).

Proof

Class field theory.

Lemma 5.8

Each \(L_n\) is Galois over \(K\).

Proof

Since \(L_n\) is maximal.

Lemma 5.9

\(K_{n+1}L_n\subset L_{n+1}\). In particular, \(L_n\subset L_{n+1}\).

Proof

Since \(K_{n+1}\) and \(L_n\) are Galois over \(K_n\), the \(K_{n+1}L_n\) is also Galois over \(K_n\), and the natural map \({\mathrm{Gal}}(K_{n+1}L_n/K_{n+1})\to {\mathrm{Gal}}(L_n/K_n)\) is injective. ???

Proposition 5.10

For \(m\geq n\), the natural map \(X_m\to X_n\), \(\sigma \mapsto \sigma |_{L_n}\) corresponds to the norm map \(A_m\to A_n\) on ideal class groups.

Proof

Class field theory.

Definition 5.11

Let \(L_\infty :=\bigcup _{n\geq 0}L_n\). Note that each \(L_n\) is Galois over \(K\), so \(L_\infty /K\) is also Galois. Let \(G={\mathrm{Gal}}(L_\infty /K)\) and \(X_\infty ={\mathrm{Gal}}(L_\infty /K_\infty )\).

Lemma 5.12

There is a natural isomorphism \(X_\infty \xrightarrow {\sim }\varprojlim _n X_n\), \(\sigma \mapsto (\sigma |_{L_n})_{n\geq 0}\).

Proof

The inverse map maps \((\sigma _n)_{n\geq 0}\) to \(x\mapsto \sigma _n(x)\) if \(x\in L_n\).

Lemma 5.13

Each \(X_n\) has a natural \(\Gamma _n\)-action, and is a \({\mathbb {Z}}_p[\Gamma _n]\)-module. \(X_\infty \) has a natural \(\Gamma \)-action, and is a \(\Lambda \)-module.

Proof

The \(\Gamma _n\)-action on \(X_n\) is given by Definition 5.1. The \(\Gamma \)-action on \(X_\infty \) is similar.

Proposition 5.14

The isomorphism \(X_n\cong A_n\) preserves \(\Gamma _n\)-action.

Proof

Class field theory.

5.3 Ramification of primes in a \({\mathbb {Z}}_p\)-extension

Proposition 5.15 [ Was97 ] , Proposition 13.2

If \(K\) is any number field, \(K_\infty /K\) is any \({\mathbb {Z}}_p\)-extension, and \({\mathfrak {l}}\) is a prime of \(K\) not above \(p\) (in particular, an infinite place). Then \({\mathfrak {l}}\) is unramified in \(K_\infty /K\).

Proof

Let \(D_{\mathfrak {l}}\) be the decomposition subgroup of \({\mathfrak {l}}\) in \(\Gamma :={\mathrm{Gal}}(K_\infty /K)\cong {\mathbb {Z}}_p\), which is a closed subgroup. If \({\mathfrak {l}}\) is an infinite place then \(D_{\mathfrak {l}}\) is finite, hence must be trivial. In the following assume \({\mathfrak {l}}\) is a finite place. Let \(l=\operatorname{char}({\mathcal{O}}_K/{\mathfrak {l}})\neq p\), then \(K_{\mathfrak {l}}/{\mathbb {Q}}_l\) is a finite extension, and let \((K_\infty )_{\mathfrak {l}}:=\varinjlim (K_n)_{\mathfrak {l}}\), then \(D_{\mathfrak {l}}={\mathrm{Gal}}((K_\infty )_{\mathfrak {l}}/K_{\mathfrak {l}})\) is a subgroup of \({\mathbb {Z}}_p\).

We have \(K_{\mathfrak {l}}\subset K_{\mathfrak {l}}^{\mathrm{unr}}\subset K_{\mathfrak {l}}^{\mathrm{ab}}\), and

\[ {\mathrm{Gal}}(K_{\mathfrak {l}}^{\mathrm{unr}}/K_{\mathfrak {l}})\cong \widehat{\mathbb {Z}}=\prod _{q\text{ prime}}{\mathbb {Z}}_q. \]

So \(K_{\mathfrak {l}}\) has at least one \({\mathbb {Z}}_p\)-extension, i.e. the unique unramified \({\mathbb {Z}}_p\)-extension. If there are other \({\mathbb {Z}}_p\)-extensions of \(K_{\mathfrak {l}}\), then there exists a Galois extension of \(K_{\mathfrak {l}}\) with Galois group isomorphic to \({\mathbb {Z}}_p^2\).

However, \({\mathrm{Gal}}(K_{\mathfrak {l}}^{\mathrm{ab}}/K_{\mathfrak {l}}^{\mathrm{unr}})\) doesn’t have a quotient isomorphic to \({\mathbb {Z}}_p\), because by local class field theory, \({\mathrm{Gal}}(K_{\mathfrak {l}}^{\mathrm{ab}}/K_{\mathfrak {l}}^{\mathrm{unr}})\cong {\mathcal{O}}_{K_{\mathfrak {l}}}^\times \cong (\text{a finite group})\times {\mathbb {Z}}_l^{[K_{\mathfrak {l}}:{\mathbb {Q}}_l]}\) which is a finite group times a pro-\(l\) group, obviously it doesn’t have a quotient isomorphic to \({\mathbb {Z}}_p\). So there is only one \({\mathbb {Z}}_p\)-extension of \(K_{\mathfrak {l}}\), note that \((K_\infty )_{\mathfrak {l}}/K_{\mathfrak {l}}\) is either trivial or a \({\mathbb {Z}}_p\)-extension, in both cases it must be contained in \(K_{\mathfrak {l}}^{\mathrm{unr}}\).

Definition 5.16

A \({\mathbb {Z}}_p\)-extension \(K_\infty /K\) is called totally ramified, if all primes which are ramified in \(K_\infty /K\) are totally ramified. More explicitly, for any prime of \(K\), either it is unramified in \(K_n/K\) for all \(n\), or it is totally ramified in \(K_n/K\) for all \(n\).

Lemma 5.17 [ Was97 ] , Lemma 13.3

If \(K\) is any number field, \(K_\infty /K\) is any \({\mathbb {Z}}_p\)-extension, then \(K_\infty /K\) is ramified at at least one place, and there exists \(e\geq 0\) such that the \({\mathbb {Z}}_p\)-extension \(K_\infty /K_e\) is totally ramified (Definition 5.16).

Proof

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5.4 Iwasawa’s Theorem: totally ramified case

Let \(K\) be a number field, \(p\) be a prime, \(K_\infty /K\) be a \({\mathbb {Z}}_p\)-extension which is totally ramified (Definition 5.16).

Lemma 5.18

Suppose \(K_\infty /K\) is totally ramified (Definition 5.16). Then \(K_{n+1}\cap L_n=K_n\). In particular, the natural maps \({\mathrm{Gal}}(K_{n+1}L_n/K_{n+1})\to {\mathrm{Gal}}(L_n/K_n)\) and \({\mathrm{Gal}}(K_\infty L_n/K_\infty )\to {\mathrm{Gal}}(L_n/K_n)\) are isomorphisms.

Proof

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Suppose \(K_\infty /K\) is totally ramified (Definition 5.16). Then there exists a \(\Lambda \)-submodule \(Y\) of \(X_\infty \) of finite index, such that for all \(n\geq 0\),

\[ X_n\cong X_\infty /\nu _nY, \]

where

\[ \nu _n:=\sum _{k=0}^{p^n-1}\gamma ^k. \]

In particular, \(X_\infty \) is a finitely generated torsion \(\Lambda \)-module.

Proof

The \(Y\subset X_\infty \) is constructed as follows. Let \({\mathfrak {p}}_1,\cdots ,{\mathfrak {p}}_s\) be primes of \({\mathcal{O}}_K\) which are (totally) ramified in \(K_\infty \) (they are all above \({\mathfrak {p}}\) by Lemma 5.15). For each \({\mathfrak {p}}_i\) fix a place of \(L_\infty \) above it and let \(I_i\subset G\) be its inertia subgroup. Since \(L_\infty /K_\infty \) is unramified and \(K_\infty /K\) is totally ramified at \({\mathfrak {p}}_i\), we have \(I_i\cap X_\infty =1\), and \(I_i\hookrightarrow G/X_\infty =\Gamma \) is surjective, hence bijective. Therefore \(G=I_iX_\infty =X_\infty I_i\). For each \(i\) let \(\sigma _i\in I_i\) be the preimage of \(\gamma \in \Gamma \), then \(\sigma _i\) is a topological generator of \(I_i\). For \(i=2,\cdots ,s\), let \(a_i\in X_\infty \) be some element such that \(\sigma _i=a_i\sigma _1\in X_\infty I_1=G\). Take \(Y\) to be the closure of the \(\Lambda \)-submodule generated by \(a_2,\cdots ,a_s\) and \(\{ (\gamma \bullet x)x^{-1}\mid x\in X_\infty \} \).

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5.5 Iwasawa’s Theorem: general case

Let \(K\) be a number field, \(p\) be a prime, \(K_\infty /K\) be a \({\mathbb {Z}}_p\)-extension. Let \(e\geq 0\) (Lemma 5.17) be such that the \({\mathbb {Z}}_p\)-extension \(K_\infty /K_e\) is totally ramified (Definition 5.16).

Theorem 5.20 [ Was97 ] , Lemma 13.18

There exists a \(\Lambda \)-submodule \(Y\) of \(X_\infty \) of finite index, such that for all \(n\geq e\),

\[ X_n\cong X_\infty /\nu _{n,e}Y, \]

where

\[ \nu _{n,e}:=\sum _{k=0}^{p^{n-e}-1}\gamma ^{kp^e}. \]

In particular, \(X_\infty \) is a finitely generated torsion \(\Lambda \)-module.

Proof

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Apply Proposition 4.18 to above theorem, we obtain Iwasawa’s Theorem (Theorem 1.2).